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(A) There is hereby created a Board of Ethics, which shall have the authorities, duties and responsibilities as set forth in this chapter to enforce the provisions of this chapter.
(B) The Board of Ethics shall consist of three (3) members who shall be appointed by the Mayor, subject to the approval of the City Council. The initial members of the Board of Ethics shall be appointed within sixty (60) days of the effective date of this chapter. No member of the Board of Ethics shall hold any elected or appointed office, whether paid or unpaid, or any position of employment with the city or any city agency. No member of the Board of Ethics may be or have been, within two (2) years prior to their appointment, an officer or employee, consultant or contractor of the city; an officer in a political party or political committee; a candidate or active member of the campaign of a candidate, for any office within the Board's jurisdiction; or a lobbyist. Nor should a member, nor any member of their immediate family, have, within two (2) years prior to their appointment, sought any special benefits from the city, directly or indirectly. A member of the Board of Ethics, or staff member, or a member of their immediate family, may not, directly or indirectly, seek any special benefits from the city, make campaign contributions, nor participate in any way in the campaign of a candidate for any office within the Ethics Board's jurisdiction, or of an individual currently within the Board's jurisdiction. The members shall serve for a term of three (3) years; except that, with respect to the members initially appointed, one (1) member shall be appointed for a term of one (1) year, one (1) member shall be appointed for a term of two (2) years, and one (1) member shall be appointed for a term of three (3) years. Thereafter, all appointments shall be for a term of three (3) years. No more than two (2) of the members shall be of the same political party. Each member of the Board of Ethics shall have been a resident of the city for at least three (3) years prior to the date of their appointment, shall be eighteen (18) years of age, shall not related to the Mayor, any Councilmember, or any city officer or employee, and shall reside in the city throughout their term in office. The members of the Board of Ethics shall be chosen by virtue of their known and consistent reputation for integrity and their knowledge of local government affairs. The members may be re-appointed for any number of consecutive terms.
(C) A member of the Board of Ethics may be removed by the Mayor, subject to the approval of the City Council, for misconduct, inability or willful neglect of duties. Before any member of the Board of Ethics is removed from office under this section, the member shall be afforded the opportunity for a hearing before the Mayor and City Council.
(D) Vacancies on the Board of Ethics shall be filled within sixty (60) days by the Mayor, subject to the approval of the City Council. If a vacancy is not filled by the Mayor within sixty (60) days, the remaining members of the Board of Ethics shall fill the vacancy. All vacancies shall be filled for the remainder of the unexpired term.
(E) Members of the Board of Ethics shall serve without compensation, unless otherwise approved by the City Council, but shall be reimbursed for all necessary and reasonable expenses incurred in the performance of their duties.
(F) The Board of Ethics shall, upon the initial appointment of its members and annually thereafter, elect a chairperson from among the membership. The chairperson shall be the presiding officer and a full voting member of the Board.
(G) Meetings of the Board of Ethics shall be held, as necessary, upon the call of the chairperson or at the written request of a majority of the members. The Board of Ethics shall follow the Open Meetings Act for all meetings.
(H) The presence of two (2) or more members shall constitute a quorum and the affirmative vote of two (2) or more members shall be necessary for any official action to be taken. Any member of the Board of Ethics who has a conflict of interest with respect to any matter to be considered by the Board shall disclose the nature of the conflict, shall disqualify himself or herself from voting on the matter, and shall not be counted for purposes of establishing a quorum by removing themselves from the meeting room for the duration of the consideration of the matter.
(I) Minutes shall be kept for all proceedings of the Board of Ethics, and the vote of each member on any issue decided by the Board shall be recorded in the minutes.
(Ord. 18-1994, passed 11-21-94; Am. Ord. 6-2022, passed 11-7-22)
The Mayor, with the approval of the City Council, may appoint two (2) alternate members of the Board of Ethics who may be called upon to serve when any regular member of the Board is unable to discharge his or her duties. An alternate member shall be appointed for a term of one (1) year. Alternate members shall meet all qualifications and be subject to all of the requirements of this chapter that apply to regular members.
(Ord. 18-1994, passed 11-21-94; Am. Ord. 6-2022, passed 11-7-22)
Within the limits of the funds appropriated by the City Council in the annual budget, the city shall provide the Board of Ethics, either directly or by contract or agreement, with the facilities, materials, supplies and staff needed for the conduct of its business.
(Ord. 18-1994, passed 11-21-94; Am. Ord. 6-2022, passed 11-7-22)
The Board of Ethics will meet the third Tuesday of each January to elect a chairperson and vice-chairperson, from among its regular members, and set a plan for any obligations for the year, including any annual reports, reviews or disclosures, and the like. A majority of the regular members is required for the Ethics Board to take any action. The chair or a majority of the regular members may call a meeting of the Board of Ethics.
(Ord. 6-2022, passed 11-7-22
The Board of Ethics shall have the following powers and duties:
(A) To initiate on its own motion, receive and investigate complaints, hold hearings, make findings of fact and determinations with regard to alleged violations of the provisions of this chapter.
(B) To issue orders in connection with its investigations and hearings, requiring persons to submit in writing and under oath reports and answers to questions that are relevant to the proceedings, and to order testimony to be taken by deposition before any individual designated by the Board who has the power to administer oaths.
(C) To administer oaths and to issue orders requiring the attendance and testimony of witnesses and the production of documentary evidence relating to an investigation or hearing being conducted by the Board.
(D) To refer any information concerning violations of this chapter to the Mayor, the City Council, the governing body of any city agency, the County Attorney, or other appropriate person or body, as necessary.
(E) To render advisory opinions to city and city agency officers and employees regarding whether a given set of facts and circumstances would constitute a violation of any provision of this chapter.
(F) To enforce the provisions of this chapter with regard to all officers and employees of the city and city agencies who are subject to its terms, by issuing appropriate orders and imposing penalties authorized by this chapter.
(G) To control and maintain all statements of financial interests that are required to be filed by this chapter and to insure that the statements are available for public inspection in accordance with the requirements of this chapter and the Kentucky Open Records Act.
(H) To prepare and submit an annual report and any recommended changes to this code to the City Council, and to develop and submit any reports regarding the conduct of its business that may be required by the Mayor or the City Council.
(I) To adopt rules and regulations and to take other actions, as necessary, to implement the provisions of this chapter, provided that the rules, regulations and actions are not in conflict with the provisions of this chapter or any state or federal law.
(J) The Board of Ethics, along with the City Clerk, will annually review the list of officials and employees required to file annual disclosure statements to determine whether the lists are complete and accurate.
(K) The Board of Ethics, through the city, will prepare forms for financial disclosure statements and will make these forms available at the City Clerk's office. By June 15 of each year, the Board of Ethics must review all annual financial disclosure statements filed with it to determine whether any person required to file such a statement has failed to file it, has filed a deficient statement, or has filed a statement that reveals a possible or potential violation of this code. If the Board of Ethics determines that an annual or transactional disclosure statement is deficient or reveals a possible or potential violation of this code, the Board will notify the person in writing of the deficiency or possible or potential violation, and of the penalties for failure to comply with this code.
(Ord. 18-1994, passed 11-21-94; Am. Ord. 6-2022, passed 11-7-22)
(A) The Board of Ethics must prepare and submit an annual report to the City Council, summarizing activities, decisions and advisory opinions of the Board. The report may also recommend changes to the text or administration of this ethics code. The report must be submitted no later than October 31 of each year, covering to the year ended August 31, and must be filed with the City Clerk and made available on the city website.
(B) The Board of Ethics will periodically (no less than every five (5) years) review this ethics code, the enforcement of the ethics code, and the Board’s rules, regulations and administrative procedures to determine whether they promote integrity, public confidence, and participation in city government, and whether they set forth clear and enforceable, common-sense standards of conduct.
(Ord. 6-2022, passed 11-7-22)
(A) All complaints alleging any violation of the provisions of this chapter shall be submitted to the Board of Ethics or to the administrative official designated by the Board of Ethics. All complaints shall be in writing, signed by the complainant, and shall meet any other requirements established by the Board of Ethics. The Board of Ethics shall acknowledge receipt of a complaint to the complainant within ten (10) working days from the date of receipt. The Board shall forward, within ten (10) working days, to each individual who is the subject of the complaint, a copy of the complaint and a general statement of the applicable provisions of this chapter.
(B) The Board of Ethics may, on its own initiative, determine through an inquiry into informal allegations, or information provided directly to the Board, by referral, by coverage in the public news media, or otherwise that a violation of this code may exist and prepare a complaint of its own. The Board of Ethics may also amend a complaint that has been filed with it by adding further allegations, by adding respondents involved in the same conduct, directly or indirectly and by action or inaction, or by deleting allegations that have been made against persons or entities not covered by this code, or by deleting allegations that do not appear to be supported by the facts. The Board of Ethics may also consolidate complaints where the allegations are materially related. Amended complaints must be sent to the complainant and respondent by the Board of Ethics.
(C) Within thirty (30) days of the receipt of a proper complaint, the Board of Ethics shall conduct a preliminary inquiry concerning the allegations contained in the complaint. If a complaint is accepted pursuant to subsection (A), the Board of Ethics must conduct an investigation and, from this point on, the complainant may not withdraw their complaint, although they may request that the Board either make a finding of no probable cause or no violation. The Board shall afford a person who is the subject of the complaint an opportunity to respond to the allegations in the complaint. The person shall have the right to be represented by counsel, to appear and be heard under oath, and to offer evidence in response to the allegations.
(D) The person who is the subject of the complaint (respondent) may file with the Board of Ethics a response, in writing and signed by respondent, to the complaint within thirty (30) days after their receipt of the complaint. The response, if any, must be sent to the person filing the original complaint (complainant) by the Board of Ethics within five (5) days after its filing. Within fifteen (15) days after receipt, the complainant may also file with the Board of Ethics a response to the respondent’s response, which the Board of Ethics must send to the respondent within five (5) days after its filing.
(E) Extensions of time to any of the time limitations specified in this section may be granted by the Board of Ethics upon a vote of the majority of the members. If no meeting can be held before such time limit runs, the chairperson may extend the time frame until the following meeting. The Board of Ethics must give written notice of any extension(s) of time to the respondent and the complainant.
(F) In conducting an investigation, the Board of Ethics may administer oaths or affirmations, subpoena witnesses, compel their attendance, and require the production of any books or records it deems relevant and material. The Police Department and all city agencies, bodies, officials and employees are required to respond fully and truthfully to all inquiries, and to cooperate with all requests of the Board or its agents relating to an investigation. It is a violation of this code for any official or employee to deny access to information requested by the Board of Ethics in the course of an investigation or a public hearing, except to the extent that the denial is required by federal, state or local law.
(G) Nothing in this section may be construed to permit the Board of Ethics to conduct an investigation of itself or any of its members or staff. If the Board of Ethics receives a complaint alleging that it, or any of its members or staff, has violated any provisions of this code or any other law, the Board of Ethics must promptly transmit copy of this complaint to the City Council.
(H) All proceedings and records relating to a preliminary inquiry being conducted by the Board of Ethics shall be confidential until a final determination is made by the Board, except:
(1) The Board may turn over to the Commonwealth Attorney or County Attorney evidence that may be used in criminal proceedings.
(2) If the complainant or the respondent publicly discloses the existence of a preliminary inquiry, the Board may publicly confirm the existence of the inquiry, and, at its discretion, make public any documents that were issued to either party.
(I) The Board shall make a determination based on its preliminary inquiry whether the complaint is within its jurisdiction and, if so, whether it alleges a minimal factual basis to constitute a violation of this chapter. If the Board concludes that the complaint is outside of its jurisdiction, frivolous or without factual basis, the Board shall immediately terminate the inquiry, reduce its conclusion to writing, and transmit a copy of its decision to the complainant and to all individuals against whom the complaint was filed.
(J) If the Board of Ethics concludes, based upon its preliminary inquiry, that the complaint is within its jurisdiction and contains allegations sufficient to establish a minimal factual basis to constitute probable cause as to a violation, the Board shall notify the individual who is the subject of the complaint, and may:
(1) Due to mitigating circumstances such as, lack of significant economic advantages or gain by the individual, lack of economic loss to the city and its taxpayers, or lack of significant impact on public confidence in city government, issue, in writing, a confidential reprimand to the individual concerning the alleged violation and provide a copy of the confidential reprimand to the Mayor and City Council.
(2) Initiate a hearing to determine whether there has been a violation.
(K) Any person who knowingly files with the Board a false complaint alleging a violation of any provision of this chapter shall be guilty of a Class A misdemeanor.
(Ord. 18-1994, passed 11-21-94; Am. Ord. 6-2022, passed 11-7-22)
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